Broker-Dealers Articles

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Finra Floats Controversial Cards Rule Proposal

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Finra on Tuesday proposed a rule to implement its controversial Comprehensive Automated Risk Data System plan, known as Cards.

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State Sanctions Against RIAs Up Slightly, Brokers See 39% Hike

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State sanctions against registered investment advisors were up slightly in 2013, while penalties against brokers surged 39 percent, the Nasaa said.

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Wall Street Cyclists Reassess Need For Speed After Death

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The recent death of a pedestrian hit by a New York City cyclist has renewed public debate about whether the sport is appropriate in a crowded city.

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New IAA Chief’s Top Priority: Increasing Communication Among Members

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Newly announced Investment Adviser Association President and CEO Karen Barr says her top priority will be to increase communication among members through regional meetings, social media and other...

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IAA General Counsel Karen Barr Named New President And CEO

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Karen Barr, general counsel of the Investment Adviser Association for nearly two decades, was named Wednesday to succeed David Tittsworth as the organization's president and CEO.

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Former LPL Exec Named To Lead RCAP Unit

by FA Staff

Bill Dwyer, former president of LPL Financial Independent Advisor Services, has been named CEO of Realty Capital Securities.

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Finra Revisits Recruitment Disclosure Rule

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As expected, Finra is going to try once more with its controversial recruitment disclosure rule.

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Wall St. Watchdog Signals Shift In Bonus Disclosure Plan

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A controversial Finra plan requiring brokers to disclose signing bonuses is making a comeback, but it may be weaker.

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Tower Speed-Trading Unit Fined $16 Million Over Capital Rule

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A Tower Research Capital unit agreed to pay the record penalty to settle regulatory claims that it didn’t hold enough capital to support its high-frequency trading.

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Finra Nixes Monthly Account Statement Proposal

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Finra has officially given up on the idea of requiring firms to provide monthly account statements to customers.

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